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Mario R. Carrasco

CABRERA CAPITAL MARKETS
Houston, TX 77004
Some features on this profile are disabled
CRD#: 4191845
MC

Professional summary

Mario Rene Carrasco is a registered financial professional currently at CABRERA CAPITAL MARKETS, LLC located in Houston, Texas.

Mario is registered as a RR (Registered Representative) and started their career in finance in 2000. Mario has worked at 8 firms and has passed the Series 66, Series 52TO, Series 6TO, Series 50, SIE, Series 79, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mario Rene Carrasco's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 26, 2022 - Present

CABRERA CAPITAL MARKETS, LLC

Office #1: 2201 Hermann Drive Suite A, Houston, TX 77004Office #2: 1846 N. Loop 1604 West Suite 205, San Antonio, TX 78248Office #3: 915 Wilshire Boulevard 8th Floor Suite 827, Los Angeles, CA 90017Office #4: 1722 Routh St. Ste. 800, Dallas, TX 75201
BD
CRD#: 10081
Houston, TX
Past

June 22, 2010 - May 6, 2022

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
DALLAS, TX
Past

August 8, 2008 - April 6, 2010

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
SAN ANTONIO, TX
Past

November 26, 2007 - August 5, 2008

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
SAN ANTONIO, TX
Past

March 10, 2004 - December 14, 2007

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
SAN ANTONIO, TX
Past

March 9, 2004 - November 26, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
SAN ANTONIO, TX
Past

August 26, 2003 - March 2, 2004

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
BLOOMINGTON, IL
Past

November 27, 2000 - March 4, 2002

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

September 21, 2000 - December 31, 2000

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/26/2022)
RR
Illinois
(4/26/2022)
RR
Missouri
(4/26/2022)
RR
Texas
(4/26/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/26/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 50
Date: 4/30/2022
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/24/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/5/2021
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/22/2013
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CABRERA CAPITAL MARKETS, LLC
CABRERA CAPITAL MARKETS, INC. | FIRST SECURITIES CORPORATION | CABRERA CAPITAL MARKETS, LLC

CRD#: 10081 / SEC#: , 8-26406

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Mailing Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Phone number
(312) 236-8888
Established
Delaware since 04/10/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CABRERA CAPITAL, LLCOWNER
RCF-CABRERA HOLDINGS, INC.OWNER
AGUILAR, ROBERT LUISPRESIDENT4860643
CABRERA, MARTIN [NMN] JRCEO2504167
WORF, JEFF ALLENCHIEF COMPLIANCE OFFICER1416591

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081Houston, TX 77004

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